Phillips M. Bragg
BRAGG FINANCIAL ADVISORS
Charlotte, NC 28203
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CRD#: 2821569
Professional summary
Phillips Mcleod Bragg, CFP®, who also goes by Phillips Mccleod Bragg, is a registered financial advisor currently at BRAGG FINANCIAL ADVISORS INC located in Charlotte, North Carolina.
Phillips is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Phillips has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillips Mccleod Bragg
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) 1031 S, LLC, CHARLOTTE, NC, 8.68% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, PHILLIPS M. BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 2.) 2500 DISTRIBUTION STREET INVESTORS, LLC, CHARLOTTE, NC, 15.63% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, PHILLIPS M. BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 3.) TRACT 5239 INVESTORS, LLC, CHARLOTTE, NC, 9.99% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, PHILLIPS M. BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 4.) MCLEAN INVESTMENT LIMITED PARTNERSHIP, CAPE CARTERET, NC, 11.37% LIMITED PARTNER, NON-INVESTMENT RELATED, PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON TRADING HOURS. 5.) ESPADILLA OCEAN CLUB 5A, L.P., 6.7% LIMITED PARTNER, NON-INVESTMENT RELATED, PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 6.) IREDELL AVENUE RESIDENTIAL DEVELOPMENT, LLC, CHARLOTTE, NC, 20% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, PHILLIPS M. BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 7.) SEVENTY THREE, LLC, CHARLOTTE, NC, 25% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 8.)FERNCROFT FM MANAGEMENT, LLC, ORGANIZED IN NORTH CAROLINA, 20.979% LLC MEMBER, NON-INVESTMENT RELATED, PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 9.) NEW MILLENNIUM COMMUNICATIONS, LLC, ORGANIZED IN NORTH CAROLINA, LLC MEMBER, NON-INVESTMENT RELATED , PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THE ACTIVITY DURING TRADING AND NON-TRADING HOURS. 10.) OWNER OF A RENTAL HOUSE - 16240 MCAULEY RD., HUNTERSVILLE, NC 28078, NON-INVESTMENT RELATED, PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING HOURS AND 1-2 HOURS PER MONTH DURING NON-TRADING HOURS. 11.) EDGEMONT, LTD - FISHING CLUB LOCATED IN NC AND TN, TREASURER, NON-INVESTMENT RELATED, PHILLIPS BRAGG SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING HOURS AND 5 HOURS PER MONTH DURING NON-TRADING HOURS, NO COMPENSATION. 12.) CENTERLANE ELEVON COTTAGES, LLC - LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, PHILLIPS SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON TRADING HOURS. 13.) GOLDEN CERAMIC DENTAL LAB - PRIVATE EQUITY INVESTMENT, NON-INVESTMENT RELATED, PHILLIPS SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON TRADING HOURS. 14.) UPNEXT - START UP VENTURE, PRIVATE EQUITY INVESTMENT, NON-INVESTMENT RELATED, PHILLIPS SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Phillips Mcleod Bragg's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1996
Experience
Current
August 14, 2020 - Present
BRAGG FINANCIAL ADVISORS INC
Office #1: 1031 South Caldwell St Suite 200, Charlotte, NC 28203RIA
CRD#: 108780
Charlotte, NC
Past
November 28, 2000 - September 2, 2020
QUEENS ROAD SECURITIES, LLC
BD
CRD#: 104277
CHARLOTTE, NC
Past
January 23, 1997 - December 15, 2000
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BRAGG FINANCIAL ADVISORS INC
BRAGG FINANCIAL ADVISORS INC
CRD#: 108780 / SEC#: 801-56890
RIA
Registered Investment Advisory firm - (10/12/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(8/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BF
BRAGG FINANCIAL ADVISORS INC
BRAGG FINANCIAL ADVISORS INC
CRD#: 108780 / SEC#: 801-56890
RIA
Registered Investment Advisory firm - (10/12/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1031 South Caldwell St Suite 200, Charlotte, NC 28203
Mailing Address
Phone number
(704) 377-0261
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,552 |
| AUM (Assets Under Management) | $ 3,904,367,607 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
